Case 3:08-cv VRW Document 18 Filed 04/03/2009 Page 1 of 36

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1 Case :0-cv-0-VRW Document Filed 0/0/0 Page of MICHAEL F. HERTZ Acting Assistant Attorney General, Civil Division DOUGLAS N. LETTER Terrorism Litigation Counsel JOSEPH H. HUNT Director, Federal Programs Branch VINCENT M. GARVEY Deputy Branch Director ANTHONY J. COPPOLINO Special Litigation Counsel PAUL G. FREEBORNE MARC KRICKBAUM Trial Attorneys U.S. Department of Justice Civil Division, Federal Programs Branch Massachusetts Avenue, NW, Rm. Washington, D.C. 00 Phone: ( - Fax: ( -0 Attorneys for the Government Defendants Sued in their Official Capacity UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF CALIFORNIA SAN FRANCISCO DIVISION CAROLYN JEWEL, TASH HEPTING, GREGORY HICKS, ERIK KNUTZEN, and JOICE WALTON, v. Plaintiffs, NATIONAL SECURITY AGENCY ( NSA ; KEITH B. ALEXANDER, Director of the NSA; UNITED STATES OF AMERICA; BARACK OBAMA, President of the United States; UNITED STATES DEPARTMENT OF JUSTICE; ERIC HOLDER, Attorney General of the United States; DENNIS C. BLAIR, Director of National Intelligence. Government Defendants Sued in Their Official Capacity. Case No. C:0-cv--VRW GOVERNMENT DEFENDANTS NOTICE OF MOTION AND MOTION TO DISMISS AND FOR SUMMARY JUDGMENT Date: June, 0 Time: :0 p.m. Courtroom:, th Floor Chief Judge Vaughn R. Walker Jewel et al. v. National Security Agency et al., Case No. 0-cv--VRW

2 Case :0-cv-0-VRW Document Filed 0/0/0 Page of PLEASE TAKE NOTICE that, on June, 0 at :0 p.m., before Chief Judge Vaughn R. Walker, the Government Defendants sued in their official capacity in this action will move to dismiss certain claims in the Complaint against them pursuant to Rule (b( of the Federal Rules of Civil Procedure, and for summary judgment as to any remaining claims pursuant to Rule. The grounds for this motion are that the Court lacks subject matter jurisdiction with respect to plaintiffs statutory claims against the United States because Congress has not waived sovereign immunity, and summary judgment for the Government on all of plaintiffs remaining claims against all parties (including any claims not dismissed for lack of jurisdiction is required because information necessary to litigate plaintiffs claims is properly subject to and excluded from use in this case by the state secrets privilege and related statutory privileges. The grounds for this motion are set forth further in the accompanying (i Memorandum of Points and Authorities in Support of the Government Defendants Motion to Dismiss and for Summary Judgment; (ii Public Declaration of Admiral Dennis C. Blair, Director of National Intelligence (hereafter Public DNI Decl. ; (iii Public Declaration of Deborah A. Bonanni, Chief of Staff, National Security Agency (hereafter Public NSA Decl.. Additional grounds for these motions are also set forth in the (iv Classified State Secrets Privilege Declaration of Dennis C. Blair, Director of National Intelligence; (v Classified Declaration of Deborah A. Bonanni, Chief of Staff, National Security Agency; and (vi Supplemental Classified Memorandum of Points and Authorities in Support of the Government Defendants Motion to Dismiss and for Summary Judgment. These classified materials have been lodged with court security officers and are available upon request solely for the Court s in camera, ex parte review. April, 0 Respectfully Submitted, MICHAEL F. HERTZ Acting Assistant Attorney General DOUGLAS N. LETTER Terrorism Litigation Counsel Jewel et al. v. National Security Agency et al., Case No. 0-cv--VRW

3 Case :0-cv-0-VRW Document Filed 0/0/0 Page of JOSEPH H. HUNT Director, Federal Programs Branch VINCENT M. GARVEY Deputy Branch Director s/ Anthony J. Coppolino ANTHONY J. COPPOLINO Special Litigation Counsel s/ Paul G. Freeborne PAUL G. FREEBORNE s/ Marc Krickbaum MARC KRICKBAUM Trial Attorneys U.S. Department of Justice Civil Division, Federal Programs Branch Massachusetts Avenue, NW, Rm. Washington, D.C. 00 Phone: ( - Fax: ( -0 tony.coppolino@usdoj.gov Attorneys for the Government Defendants Sued in Their Official Capacity Jewel et al. v. National Security Agency et al., Case No. 0-cv--VRW

4 Case :0-cv-0-VRW Document Filed 0/0/0 Page of MICHAEL F. HERTZ Acting Assistant Attorney General, Civil Division DOUGLAS N. LETTER Terrorism Litigation Counsel JOSEPH H. HUNT Director, Federal Programs Branch VINCENT M. GARVEY Deputy Branch Director ANTHONY J. COPPOLINO Special Litigation Counsel PAUL G. FREEBORNE MARC KRICKBAUM Trial Attorneys U.S. Department of Justice Civil Division, Federal Programs Branch Massachusetts Avenue, NW, Rm. Washington, D.C. 00 Phone: ( - Fax: ( -0 Attorneys for the Government Defendants Sued in their Official Capacity CAROLYN JEWEL, TASH HEPTING, GREGORY HICKS, ERIK KNUTZEN, and JOICE WALTON, v. Plaintiffs UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF CALIFORNIA SAN FRANCISCO DIVISION NATIONAL SECURITY AGENCY ( NSA ; KEITH B. ALEXANDER, Director of the NSA; UNITED STATES OF AMERICA; BARACK OBAMA, President of the United States; UNITED STATES DEPARTMENT OF JUSTICE; ERIC HOLDER, Attorney General of the United States; DENNIS C. BLAIR, Director of National Intelligence. Government Defendants Sued in Their Official Capacity Case No. C:0-cv--VRW GOVERNMENT DEFENDANTS MEMORANDUM IN SUPPORT OF MOTION TO DISMISS AND FOR SUMMARY JUDGMENT Date: June, 0 Time: :0 p.m. Courtroom:, th Floor Chief Judge Vaughn R. Walker Jewel et al. v. National Security Agency et al., Case No. 0-cv--VRW

5 Case :0-cv-0-VRW Document Filed 0/0/0 Page of TABLE OF CONTENTS PAGE INTRODUCTION... ARGUMENT... I. CONGRESS HAS NOT WAIVED SOVEREIGN IMMUNITY FOR PLAINTIFFS STATUTORY CLAIMS.... A. Congress Has Not Waived Sovereign Immunity as to Plaintiffs Claims for Damages..... Congress Has Expressly Preserved Sovereign Immunity For Plaintiffs Wiretap Act and ECPA Claims.... Congress Has Not Waived Sovereign Immunity in FISA Section.... B. Congress Has Not Waived Sovereign Immunity for the Equitable Relief Plaintiffs Seek under FISA, the Wiretap Act, and ECPA..... APA Section 0 Does Not Waive Sovereign Immunity Where Other Statutes Explicitly or Implicitly Bar Relief Against the United States..... Larson Fails to Provide an Independent Basis for Equitable Relief... II. III. INFORMATION SUBJECT TO THE STATE SECRETS PRIVILEGE AND RELATED STATUTORY PRIVILEGES IS NECESSARY TO LITIGATE THIS CASE AND MUST BE EXCLUDED FROM FURTHER PROCEEDINGS.... A. The State Secrets Privilege Bars Use of Privileged Information In Litigation.... B. The United States Has Properly Asserted the State Secrets and Related Statutory Privileges in this Case.... WHERE STATE SECRETS ARE NEEDED TO LITIGATE PLAINTIFFS CLAIMS, THE CASE CANNOT PROCEED.... A. Standing Cannot be Established or Refuted Without the Disclosure of State Secrets and Harm to National Security.... B. The Disclosure of Privileged Information Would Also be Required to Adjudicate Plaintiffs Claims on the Merits.... V. LITIGATION OF THE PLAINTIFFS CLAIMS CANNOT PROCEED UNDER FISA.... Jewel et al. v. National Security Agency et al., Case No. 0-cv--VRW -i-

6 Case :0-cv-0-VRW Document Filed 0/0/0 Page of CONCLUSION... Jewel et al. v. National Security Agency et al., Case No. 0-cv--VRW -ii-

7 Case :0-cv-0-VRW Document Filed 0/0/0 Page of TABLE OF AUTHORITIES CASES PAGE(S Alaska v. Babbitt, F.d (th Cir. (Babbitt II...,, Alaska v. Babbitt, F.d (th Cir. (Babbitt I... Al-Haramain Islamic Found., Inc. v. Bush, F. Supp. d 0 (N.D. Cal. 0...,, Al-Haramain Islamic Found., Inc. v. Bush, 0 F.d (th Cir passim American Civil Liberties Union v. NSA, F.d (th Cir Aminoil U.S.A., Inc. v. Cal. State Water Ctrl. Bd., F.d (th Cir.... Block v. North Dakota, U.S. (...,, Cent. Bank of Denver v. First Interstate Bank, U.S. (... Cent. Res. Life of North America Ins. Co. v. Struve, F.d (th Cir.... Children s Hosp. Health Ctr. v. Belshe, F.d 0 (th Cir....,, CIA v. Sims, U.S. (..., City of Los Angeles v. Lyons, U.S. (... Dep t of the Army v. Blue Fox, Inc., U.S. (..., Dep t of Army v. Fed. Labor Relations Auth., F.d (D.C. Cir.... Dugan v. Rank, U.S. 0 (... Duncan v. Walker, U.S. (0..., Ellsberg v. Mitchell, 0 F.d (D.C. Cir....,,, El-Masri v. United States, F.d (th Cir F.D.I.C. v. Meyer, U.S. (... Freeman v. DirecTV, F.d 0 (th Cir Hepting v. AT&T, F. Supp. d (N.D. Cal passim Halkin v. Helms, 0 F.d (D.C. Cir. (Halkin II...,, Halkin v. Helms, F.d (D.C. Cir. (Halkin I..., Hawaii v. Gordon, U.S. (... Holloway v. United States, U.S. (... Jewel et al. v. National Security Agency et al., Case No. 0-cv--VRW -iii-

8 Case :0-cv-0-VRW Document Filed 0/0/0 Page of Hughes v. United States, F.d (th Cir.... Jones v. United States, U.S. (... Kasza v. Browner, F.d (th Cir.... passim Lane v. Pena, U.S. (...,, Larson v. Domestic & Foreign Commerce Corp., U.S. (...,,, Lewis v. Casey, U.S. (... Lujan v. Defenders of Wildlife, 0 U.S. (... Multi Denominational Ministry of Cannabis v. Gonzales, F. Supp. d (N.D. Cal New Jersey v. T.L.O., U.S. (... Northrop Corp. v. McDonnell Douglas Corp., F.d (D.C. Cir.... North Side Lumber Co. v. Block, F.d (th Cir.... O Connor v. Ortega, 0 U.S. 0 (... Palomar Pomerado Health Sys. v. Belshe, F.d 0 (th Cir.... People for the American Way Found v. NSA ( PFAW, F. Supp. d (D.D.C. 0..., Pennhurst State School & Hosp. v. Halderman, U.S. (..., Prescott v. United States, F.d (th Cir.... Rakus v. Illinois, U.S. (... Sigman v. United States, F.d (th Cir , Smith v. Maryland, U.S. (..., Tenet v. Doe, U.S. (0... Terkel v. AT&T Corp., F. Supp. d (N.D. Ill. 0..., Territory of Guam v. HHS, F.d 0 (th Cir.... Totten v. United States, U.S. (..., Touche Ross & Co. v. Redington, U.S. 0 (... Tuscon Airport Auth. v. Gen. Dynamics Corp., F.d (th Cir.... United States v. Barr, F. Case 0 (C.C. D. Va.... Jewel et al. v. National Security Agency et al., Case No. 0-cv--VRW -iv-

9 Case :0-cv-0-VRW Document Filed 0/0/0 Page of United States v. Forrester, F.d 00 (th Cir United States v. Menashe, U.S. (... United States v. Marchetti, F.d 0 (th Cir.... United States v. Morton, U.S. (... United States v. Nordic Village, Inc., 0 U.S. 0 (..., United States v. Reynolds, U.S. (...,,, Vermont Agency of Nat. Res. v. United States, U.S. (00... Warth v. Selden, U.S. 0 (... Wilner v. National Security Agency, 0 WL (S.D. N.Y. 0..., Zuckerbraun v. General Dynamics Corp., F.d (d Cir.... CONSTITUTIONAL PROVISIONS U.S. CONST. amend. I..., U.S. CONST. amend. IV...,,, STATUTES U.S.C. 0...,,, U.S.C...., U.S.C.... passim U.S.C U.S.C. 0...,, U.S.C passim U.S.C.... U.S.C.... passim 0 U.S.C U.S.C....,, 0 U.S.C....,,,, 0 U.S.C....,,,, Section of the Patriot Act of 0, Pub. L. No. -, Stat....,,, Jewel et al. v. National Security Agency et al., Case No. 0-cv--VRW -v-

10 Case :0-cv-0-VRW Document Filed 0/0/0 Page of LEGISLATIVE MATERIALS Administration s Draft Anti-Terrorism Act of 0: Hearing Before the H. Comm. on the Judiciary, th Cong. (0... H.R. REP. NO. -(I, at (0... H.R. REP. NO. -(I, at (0... H.R. REP. NO. -, at (... H.R. REP. NO. -, at (... CRS Summary, H.R. (Oct., 0... Jewel et al. v. National Security Agency et al., Case No. 0-cv--VRW -vi-

11 Case :0-cv-0-VRW Document Filed 0/0/0 Page of INTRODUCTION Plaintiffs in this action allege that the Government, through the National Security Agency ( NSA, is undertaking an illegal and unconstitutional dragnet communications surveillance in concert with major telecommunications companies, and that NSA has indiscriminately intercepted the content of communications, as well as the communications records, of millions of ordinary Americans. See Complaint, ; see also id. -; -; -. This is not the first instance in which these allegations have been before this Court. The plaintiffs in this case (it appears with one exception are the same plaintiffs who filed the Hepting action against AT&T raising identical allegations. See Hepting v. AT&T, F. Supp. d (N.D. Cal. 0. Plaintiffs now bring a seventeen-count complaint against the United States and Government officials in their official capacity, claiming that the alleged actions violate the First and Fourth Amendments of the United States Constitution, and the separation of powers doctrine, as well as various statutory provisions Section of the Foreign Intelligence Surveillance Act of ( FISA, 0 U.S.C. ; the Wiretap Act, as amended by the Electronic Communications Privacy Act ( ECPA, U.S.C. ((a, ((c, ((d and ((a; and the Stored Communications Act ( SCA, U.S.C. 0(a, (b, and (c. As a threshold matter, the Court should dismiss plaintiffs statutory claims against the Government Defendants in their official capacity for lack of subject matter jurisdiction because Congress has not waived sovereign immunity. This leaves plaintiffs with, at most, constitutional claims for declaratory and injunctive relief against the United States. These claims cannot proceed as well indeed, none of plaintiffs claims could proceed against any defendant because, at every stage, litigation plaintiffs claims would require or risk the A summary of plaintiffs claims is attached as Exhibit. Plaintiffs also sue NSA Director Alexander and several former officials in their personal capacity, see Compl., -, - and Counts I-VIII; X-XI; XIII-XIV; XVI-XVII. This motion is brought solely by the Government Defendants sued in their official capacity. However, as set forth herein, the Government s proper invocation of the state secrets and applicable statutory privileges also excludes information relevant to addressing the personal capacity claims and requires summary judgment and dismissal of all personal capacity claims as well. Jewel et al. v. National Security Agency et al., Case No. 0-cv--VRW

12 Case :0-cv-0-VRW Document Filed 0/0/0 Page of disclosure of information that is properly subject to the state secrets privilege and related statutory privileges. This lawsuit squarely puts at issue whether, or to what extent, the Government utilized certain intelligence sources and methods after the / attacks. As in Hepting, the Director of National Intelligence ( DNI has once again demonstrated that the disclosure of the information implicated by this case, which concerns how the United States seeks to detect and prevent terrorist attacks, would cause exceptionally grave harm to national security. See Public and Classified In Camera, Ex Parte Declarations of Dennis C. Blair, Director of National Intelligence. The information subject to the DNI s privilege assertion should therefore be excluded from this case. In addition, because disclosure of the privileged information would be required or at risk in further proceedings, the Court should grant summary judgment for the United States on all of plaintiffs claims and dismiss this case against all defendants. While the dismissal of private claims is a significant step, long-standing authority holds that the greater public good is the protection of the national security interests of the United States. Kasza v. Browner, F.d, (th Cir. (quoting Bareford v. Gen. Dynamics Corp., F.d, (th Cir.. ARGUMENT I. CONGRESS HAS NOT WAIVED SOVEREIGN IMMUNITY FOR PLAINTIFFS STATUTORY CLAIMS. Absent a waiver, sovereign immunity shields the Federal Government and its agencies from suit. Dep t of the Army v. Blue Fox, Inc., U.S., 0 ( (quoting F.D.I.C. v. Meyer, U.S., (. Plaintiffs bear the burden of establishing such a waiver, see Prescott v. United States, F.d, 0 (th Cir., which must be explicitly and unequivocally expressed in statutory text. See Lane v. Pena, U.S., (; Sigman v. United States, F.d, (th Cir. 00. This Court should strictly construe[] any purported waiver in favor of the sovereign, Blue Fox, U.S. at, and a statute does not waive sovereign immunity if it will bear any plausible alternative interpretation. See United States v. Nordic Village, Inc., 0 U.S. 0, - (. Jewel et al. v. National Security Agency et al., Case No. 0-cv--VRW --

13 Case :0-cv-0-VRW Document Filed 0/0/0 Page of As set forth below, in the Wiretap Act and ECPA, Congress expressly preserved sovereign immunity against claims for damages and equitable relief, permitting such claims against only a person or entity, other than the United States. See U.S.C. ; U.S.C. 0. Plaintiffs attempt to locate a waiver of sovereign immunity in other statutory provisions, primarily through a cause of action authorized by the Stored Communications Act, U.S.C., but this attempt fails. Section does not erase the express reservations of sovereign immunity noted above, because it applies solely to a narrow set of allegations not presented here: where the Government obtains information about a person through intelligence-gathering, and Government agents unlawfully disclose that information. Likewise, the Government preserves its position that Congress also has not waived sovereign immunity under in FISA to permit a damages claim against the United States. See 0 U.S.C.. Plaintiffs claims for equitable relief under Section 0 of the Administrative Procedure Act ( APA and the Supreme Court s decision in Larson v. Domestic & Foreign Commerce Corp., U.S. (, fare no better. First, Section 0 does not provide an equitable remedy when another statute explicitly or implicitly forbids such relief. Second, plaintiffs cannot proceed without a waiver of sovereign immunity Larson, because Congress has explicitly forbidden equitable relief, and the relief plaintiffs seek would run against the United States. A. Congress Has Not Waived Sovereign Immunity as to Plaintiffs Claims for Damages. Plaintiffs seek damages against the United States under the Wiretap Act and ECPA, as well as FISA (Counts VI, IX, XII, and XV, but can establish no waiver of sovereign immunity for these claims.. Congress Has Expressly Preserved Sovereign Immunity For Plaintiffs Wiretap Act and ECPA Claims. Congress has expressly barred suits against the United States for damages and equitable relief based on alleged violations of the Wiretap Act and ECPA, in both cases by permitting relief against only a person or entity other than the United States. See U.S.C. (a; U.S.C. 0(a. Congress enacted these express reservations of sovereign immunity in Section Jewel et al. v. National Security Agency et al., Case No. 0-cv--VRW --

14 Case :0-cv-0-VRW Document Filed 0/0/0 Page of of the Patriot Act of 0, Pub. L. No. -, Stat.. See (a(, (b( (inserting the words other than the United States.. Plaintiffs apparent theory that another provision of Section of the Patriot Act, codified in U.S.C., provides the requisite waiver of sovereign immunity for plaintiffs Wiretap Act and ECPA claims, see Compl., Counts IX, XII, XV is meritless. Such a theory depends on the assumption that Congress, in the same Act, expressly reserved sovereign immunity in Sections (a and 0(a for Wiretap Act and ECPA claims, and expressly waived sovereign immunity for those claims in Section (a. Such a construction would use one provision of an Act to emasculate... entire section[s] elsewhere in the Act, see United States v. Menashe, U.S., - (, and thereby violate the cardinal principle of statutory construction that courts must give effect, if possible, to every clause and word of a statute, rather than rendering any section superfluous. Duncan v. Walker, U.S., (0 (collecting cases (internal quotations omitted. In fact, all of the provisions enacted in Section of the Patriot Act can be read harmoniously. As noted, U.S.C. (a (Section (a( generally precludes suits against the United States for claims arising under the Wiretap Act, Chapter of Title. Similarly, U.S.C. 0(a (Section (b( precludes suits against the United States for conduct that constitutes a knowing or intentional violation of ECPA, Chapter of Title. Finally, U.S.C. (Section (c( creates a narrow exception to these provisions, waiving sovereign immunity for damages suits against the United States solely for certain willful violation[s] of the Wiretap Act, ECPA, and specific provisions of FISA all of which concern willful disclosures of information by Government agents, not alleged or at issue here. This construction of Section is supported by reading the statute as a whole, including its object and policy, not by reading any one provision in isolation. See Children s Hosp. Health Ctr. v. Belshe, F.d 0, (th Cir. ; see also Holloway v. United States, U.S., (; United States v. Morton, U.S., (. Section is entitled Civil Liability For Certain Unauthorized Disclosures, and the text of the statute makes The text of Section of the Patriot Act is attached as Exhibit. Jewel et al. v. National Security Agency et al., Case No. 0-cv--VRW --

15 Case :0-cv-0-VRW Document Filed 0/0/0 Page of clear that Congress intended its provisions, including the provision codified in U.S.C., to afford relief only where Government agents make unauthorized disclosures of information obtained through surveillance. Accordingly, Section (a( amended the Wiretap Act to state that [a]ny willful disclosure or use by an investigative or law enforcement officer or governmental entity of information beyond the extent permitted by [the Wiretap Act] is a violation... of [the Act]. See U.S.C. (g. Similarly, Section (b( amended ECPA to state that [a]ny willful disclosure of a record... obtained by an investigative or law enforcement officer, or a governmental entity, pursuant to 0 of this title... that is not a disclosure made in proper performance of the official functions of the officer or governmental entity making the disclosure, is a violation of [ECPA]. See U.S.C. 0(g. And Section (c( added U.S.C., providing for money damages against the United States for a willful violation of FISA, the Wiretap Act, and ECPA. The phrase willful violation in Section (c( ( U.S.C. gathers meaning from the use of the term willful in its surrounding provisions. See Jones v. United States, U.S., ( (internal quotation omitted. In particular, a willful violation in Section (c( refers to the willful disclosure of intelligence information by Government agents, as described by Section (a( and (b(, and such disclosures by the Government are the only actions that create liability against the United States. Other provisions of Section also address themselves to unauthorized disclosures by Government agents. For example, Section (a( and (b( amended the Wiretap Act and ECPA to provide for administrative discipline of Government agents who make such willful disclosures. See U.S.C. (f; U.S.C. 0(d. Similarly, Section (c((a authorized suit against the United States for violations of specific sections of the FISA sections (a, 0(a, and 0(a which also concern the use and disclosure by Federal officers of information acquired from electronic surveillance, a physical search, or a pen register and trap and trace device. See U.S.C. (a (authorizing suit for violations of 0 U.S.C. (a, (a, (a. Each of these provisions demonstrates that the object and Jewel et al. v. National Security Agency et al., Case No. 0-cv--VRW --

16 Case :0-cv-0-VRW Document Filed 0/0/0 Page of policy of Section was to impose liability for unauthorized disclosures of intelligence information by Government agents. See Belshe, F.d at. The legislative history of Section, though scarce, confirms that Section (a is intended to authorize suit against the United States solely for such alleged unauthorized disclosures by the Government. Section was an amendment proposed by Representative Barney Frank during the consideration of the Patriot Act before the House Committee on the Judiciary. Citing the historical example of leaks by FBI Director J. Edgar Hoover against Dr. Martin Luther King, Jr., Mr. Frank explained that when law enforcement agents inappropriate[ly] release... information garnered by surveillance, the victim of such leaks should have the right to go into Federal court under the Federal Tort Claims Act before a federal judge and get damages from the Government. Administration s Draft Anti-Terrorism Act of 0: Hearing Before the H. Comm. on the Judiciary, th Cong. (0, Exh.. The House Judiciary Committee approved the Frank amendment, recognizing that the Amendment provide[d] for actions against the United States for unlawful disclosures obtained by [intelligence gathering]. H.R. REP. NO. -(I, at (0, Exh.. Four years later, when Congress reauthorized U.S.C. and other provisions in the Patriot Act, it recognized that Section was limited to the unauthorized disclosure of pen trap, wiretap, stored communications or FISA information. H.R. REP. NO. -(I, at (0, Exh.. This harmonious reading of all the provisions of Section of the Patriot Act not only comports with proper statutory construction, see Duncan, U.S. at ; Belshe, F.d at, but also with the Supreme Court s frequent admonition that courts should construe any purported waiver of sovereign immunity strictly and in favor of the sovereign. See Blue Fox, U.S. at ; Lane, U.S. at. Moreover, since there is a plausible interpretation of U.S.C. that does not waive sovereign immunity, the Court should adopt that interpretation. See Nordic Village, 0 U.S. at -; Dep t of Army v. Fed. Labor Relations Auth., F.d, (D.C. Cir.. A Congressional Research Service summary of the Patriot Act likewise explained that Section provide[s] for administrative discipline of Federal officers or employees who violate prohibitions against unauthorized disclosures of information gathered under this Act and [p]rovides for civil actions against the United States for damages by any person aggrieved by Jewel et al. v. National Security Agency et al., Case No. 0-cv--VRW --

17 Case :0-cv-0-VRW Document Filed 0/0/0 Page of Thus, both the text and legislative history of Section of the Patriot Act make clear that a willful violation in U.S.C. means a willful, unauthorized disclosure of information by a Government agent. Plaintiffs do not allege any such disclosures, and thus the general reservations of sovereign immunity in U.S.C. (a and 0(a control plaintiffs statutory claims for damages against the Government under Counts IX, XII, and XV.. Congress Has Not Waived Sovereign Immunity in FISA Section. Plaintiffs final claim for damages against the United States is under FISA, where plaintiffs assert that 0 U.S.C. waives sovereign immunity (Count VI. Defendants recognizes that the Court found an [i]mplicit waiver of sovereign immunity under 0 U.S.C. in Al-Haramain Islamic Foundation, Inc. v. Bush, F. Supp. d 0, - (N.D. Cal. 0. But the Government respectfully disagrees with the Court s conclusion and, for the record of this case, expressly reserve its position that Section contains no waiver of sovereign immunity to bring a damages claim against the United States. such violations. CRS Summary, H.R. (Oct., 0, Exhibit. Plaintiffs allege that the Government solicited, acquired, or received their communications from telecommunications carriers, not that Government agents disclosed intelligence information unlawfully (See Compl. -,, -, 0-. Allegations that third parties made disclosures to the Government do not establish that the Government made unauthorized disclosures within the meaning of U.S.C.. Moreover, nothing in any of the statutes upon which plaintiffs base their claims creates liability against the United States for allegedly aiding and abetting disclosures of third parties, and the Supreme Court has refused to impose such secondary civil liability absent any congressional direction to do so. Cent. Bank of Denver v. First Interstate Bank, U.S., (; see also id. at ( If... Congress intended to impose aiding and abetting liability, we presume it would have used the words aid and abet in the statutory text.. The Ninth Circuit has followed Central Bank of Denver by refusing to find a private cause of action under U.S.C. 0 against those who allegedly aid and abet, or conspire with, electronic communication service providers in unlawfully disseminating the contents of electronic communications under ECPA. Freeman v. DirecTV, F.d 0, 0-0 (th Cir. 0. The Government briefed the sovereign immunity issue in the Al-Haramain action, see Memorandum of Points and Authorities in Support of Defendants Second Motion to Dismiss or for Summary Judgment (Dkt., Case No. 0--VRW ( Defs. d MSJ Mem. at -; see also Defendants Reply in Support of Defendants Second Motion to Dismiss or for Summary Judgment (Dkt., Case No. 0--VRW ( Defs. d MSJ Reply at -. Jewel et al. v. National Security Agency et al., Case No. 0-cv--VRW --

18 Case :0-cv-0-VRW Document Filed 0/0/0 Page of Sovereign immunity cannot be waived implicitly; waivers of sovereign immunity must instead be explicit and unequivocal. See Multi Denominational Ministry of Cannabis v. Gonzales, F. Supp. d, 0 (N.D. Cal. 0 (Walker, C.J.; see also Lane, U.S. at ; Sigman, F.d at. Section creates a cause of action against any person who violates the provisions of 0 U.S.C.. But Section does not mention suit against the United States, and the United States is not a person within the meaning of the statute. There is a longstanding interpretive presumption that [the term] person does not include the sovereign, Vermont Agency of Nat. Res. v. United States, U.S., 0 (00 (collecting cases, and the presumption may be overcome only upon some affirmative showing of statutory intent to the contrary. Id. FISA reveals no such intent. When Congress intends to waive the sovereign immunity of the United States, it knows how to do so expressly. Cf. Touche Ross & Co. v. Redington, U.S. 0, (; Central Bank, U.S. at -,. Notably, Congress expressly authorized actions for damages against the United States as to specific violations of FISA, see U.S.C. but not as to alleged violations of Section. Without such an express waiver, plaintiffs FISA claim may not proceed. B. Congress Has Not Waived Sovereign Immunity for the Equitable Relief Plaintiffs Seek under FISA, the Wiretap Act, and ECPA. Plaintiffs statutory claims for equitable relief (see Compl., Counts V, VII, X, XIII, XVI fare no better. Again, plaintiffs alleged bases for equitable relief for their Wiretap Act and ECPA claims are U.S.C., and U.S.C. 0, which expressly reserve sovereign immunity by permitting claims only against a person or entity, other than the United States. U.S.C. (a, 0(a. Plaintiffs base another claim for equitable relief on Section, 0 U.S.C., but nowhere in FISA has Congress waived sovereign immunity for equitable relief against the United States. And as discussed below, neither Section 0 of the APA nor the Larson doctrine supply the basis for such relief. FISA defines person to mean any individual, including any officer or employee of the Federal Government, or any group, entity, association, corporation, or foreign power. 0 U.S.C. (m. Jewel et al. v. National Security Agency et al., Case No. 0-cv--VRW --

19 Case :0-cv-0-VRW Document Filed 0/0/0 Page of. APA Section 0 Does Not Waive Sovereign Immunity Where Other Statutes Explicitly or Implicitly Bar Relief Against the United States. Section 0 of the APA provides a general waiver of sovereign immunity for suits seeking equitable relief against the United States based on agency action, see U.S.C. 0, but Congress has also made clear that 0 does not waive sovereign immunity where some other statute controls. Alaska v. Babbitt, F.d, - (th Cir. (Babbitt I. Section 0 emphasizes that [n]othing herein... affects other limitations on judicial review [or]... confers authority to grant relief if any other statute that grants consent to suit expressly or impliedly forbids the relief which is sought. Id. Because Congress has expressly forbidden relief for the plaintiff s Wiretap Act and ECPA claims (Counts VII, X, and XIII by barring equitable relief against the United States in Sections (a and 0(a of Title, these specific and express reservations of sovereign immunity preclude jurisdiction under 0 of the APA. See Block v. North Dakota, U.S., - & n. ( (holding there is no jurisdiction under 0 when another statute expressly forbids relief by preserving sovereign immunity; accord Alaska v. Babbitt, F.d, - (th Cir. (Babbitt II; Hughes v. United States, F.d, (th Cir.. In addition, the Supreme Court has held that 0 provides no authority to grant relief when Congress has dealt in particularity with a claim and [has] intended a specified remedy to be the exclusive remedy. Block, U.S. at - & n. (quoting H. REP. NO. - at ( (rejecting claims under 0 because the Quiet Title Act provided the exclusive means to challenge an action; accord Babbitt II, F.d at -; Babbitt I, F.d at -. Congress has provided such an exclusive remedy for claims under the Wiretap Act and ECPA in U.S.C., which provides for damages only against the United States for certain willful disclosures by Government agents, and makes clear that an action against the United States under this subsection shall be the exclusive remedy against the United States for any claims within the purview of this section. U.S.C. (d. Plaintiffs cannot evade this exclusive damages remedy by seeking equitable relief under the APA, because a precisely Jewel et al. v. National Security Agency et al., Case No. 0-cv--VRW --

20 Case :0-cv-0-VRW Document Filed 0/0/0 Page of drawn, detailed statute such as Section preempts more general remedies under 0. See Block, U.S. at ; Babbitt II, F.d at. Similarly, plaintiffs claim for equitable relief under Section 0 of the APA for an alleged violation of FISA (Compl., Count V is also foreclosed. As outlined above, Congress limited recovery for violations of Section by permitting recovery only against a person, and limiting such recovery to damages and fees. See 0 U.S.C.. Section thus forecloses equitable relief under 0 of the APA for at least two reasons. First, by permitting relief only for damages, impliedly forbids declaratory and injunctive relief and precludes a 0 waiver of sovereign immunity. See Tuscon Airport Auth. v. Gen. Dynamics Corp., F.d, (th Cir. (holding the same for the Tucker Act (internal quotation omitted; accord North Side Lumber Co. v. Block, F.d, - (th Cir.. Second, by choosing to permit recovery only against a person, Congress implicitly prohibited recovery against the United States. See supra Sec. I(A(. Accordingly, the Court lacks subject matter jurisdiction to grant plaintiffs claims for equitable relief under FISA, the Wiretap Act, and ECPA pursuant to Section 0 of the APA.. Larson Fails to Provide an Independent Basis for Equitable Relief. Plaintiffs reliance on Domestic and Foreign Commerce Corp. v. Larson to support their statutory claims for equitable relief likewise fails. In Larson, the Supreme Court rejected the notion that no waiver of sovereign immunity was required for a suit against a Government official for acts he committed in his official capacities. U.S. at 0. The Court went on to observe in dicta that there may be certain circumstances where, if an officer of the United States takes action that is unconstitutional or beyond his statutory authority, a suit against him for equitable relief is not a suit against the sovereign, and no waiver of sovereign immunity is necessary. See Larson, U.S. at -0, 0-0. In the context of state sovereign immunity, the Supreme Court has described Larson s ultra vires exception as questionable, Pennhurst Plaintiffs also bring a freestanding APA claim that is not tied to another statute (Count XVI. This claim fails because 0 of the APA does not confer jurisdiction independent of some other specific statute. Territory of Guam v. HHS, F.d 0, (th Cir.. Jewel et al. v. National Security Agency et al., Case No. 0-cv--VRW --

21 Case :0-cv-0-VRW Document Filed 0/0/0 Page of State School & Hosp. v. Halderman, U.S., n. (, and has emphasized that any exception must be very narrow in order to preserve the principle of sovereign immunity. See id. at n.. The narrow exception does not apply here. First, as with plaintiffs APA claims, Larson provides no authority to grant relief, because Congress has created an exclusive remedy in U.S.C., and that statute s precisely drawn, detailed provisions preempt[] more general remedies under Larson. See Block, U.S. at - & n.; Babbitt II, F.d at -. Second, even if Larson provided an avenue for relief, plaintiffs cannot establish a Larson claim because the effect of the relief sought would run against the United States. See Pennhurst, U.S. at (emphasis omitted. Plaintiffs allege that the equitable relief they seek would halt widespread intelligence-gathering activity of the United States, and thus there is no question that plaintiffs seek relief that would... restrain the Government from acting, or... compel it to act, or interfere with the public administration. Pennhurst, U.S. at n. (quoting Dugan, U.S. 0, (; see also Hawaii v. Gordon, U.S., (. The Ninth Circuit has repeatedly dismissed such ultra vires theories. See Cent. Res. Life of North America Ins. Co. v. Struve, F.d, -0, (th Cir. (holding that it cannot be seriously maintained that a suit seeking an injunction ordering a state official to approve the marketing of insurance within the state was not against the sovereign; Aminoil U.S.A., Inc. v. Cal. State Water Ctrl. Bd., F.d, (th Cir. (holding that a suit nominally against a federal official, which sought a determination that the official acted beyond the scope of his statutory authority was, in reality, a suit against the United States that would preclude the [official] in his official capacity from enforcing the [law]. ; see also Palomar Pomerado Health Sys. v. Belshe, F.d 0, 0 (th Cir. (holding that where plaintiff sought an injunction that would restrain a state from reducing medical payment rates charged by plaintiff, relief would interfere with public administration and was thus barred absent waiver of sovereign immunity. Jewel et al. v. National Security Agency et al., Case No. 0-cv--VRW --

22 Case :0-cv-0-VRW Document Filed 0/0/0 Page of II. INFORMATION SUBJECT TO THE STATE SECRETS PRIVILEGE AND RELATED STATUTORY PRIVILEGES IS NECESSARY TO LITIGATE THIS CASE AND MUST BE EXCLUDED FROM FURTHER PROCEEDINGS. Apart from the jurisdictional defects of plaintiffs statutory claims against the Government, all of plaintiffs claims in this case would require or risk the disclosure of information properly protected by the DNI s assertion of the state secrets privilege. Plaintiffs Complaint quite clearly seeks disclosure of whether or to what extent the Government may have utilized certain intelligence sources and methods after the / attacks in order to detect and prevent further attacks. It also seeks disclosure of whether any of the alleged activities (if they exist are ongoing. As set forth below, the Director of National Intelligence (supported by the NSA has properly asserted privilege to protect such information from disclosure in order to prevent exceptionally grave harm to national security. A. The State Secrets Privilege Bars Use of Privileged Information In Litigation. The state secrets privilege is a common law evidentiary privilege that permits the government to bar the disclosure of information if there is a reasonable danger that disclosure will expose military matters which, in the interests of national security, should not be divulged. Al-Haramain Islamic Found. v. Bush, 0 F.d, (th Cir. 0 (quoting United States v. Reynolds, U.S., (. The ability of the executive to protect state secrets from disclosure in litigation has been recognized from the earliest days of the Republic. See Totten v. United States, U.S. (; United States v. Barr, F. Case 0 (C.C.D. Va. ; Reynolds, U.S. at -; Al-Haramain, 0 F.d at -; Kasza, F.d at - (discussing cases; see also Hepting, F. Supp. d at -. The privilege protects a broad range of information, including the disclosure of intelligence-gathering methods or capabilities. See Ellsberg v. Mitchell, 0 F.d, (D.C. Cir. (footnotes omitted; accord Al-Haramain, 0 F.d -0 (holding that state secrets privilege precludes disclosure The privilege has a firm foundation in the constitutional authority of the President under Article II to protect national security information. See Dept. Of the Navy v. Egan, U.S., (; United States v. Nixon, U.S., - ( (recognizing the President s constitutional authority to protect national security information (citing Reynolds; see also El-Masri v. United States, F.d, 0 (th Cir. 0. Jewel et al. v. National Security Agency et al., Case No. 0-cv--VRW --

23 Case :0-cv-0-VRW Document Filed 0/0/0 Page of of whether plaintiffs were subject to foreign intelligence surveillance; see also Halkin v. Helms, 0 F.d, 0 (D.C. Cir. (Halkin II (holding that state secrets privilege protects intelligence source and methods involved in NSA surveillance. The privilege also protects information that on its face may appear innocuous, but in a larger context could reveal sensitive classified information. Kasza, F.d at. An assertion of the state secrets privilege must be accorded the utmost deference and the court s review of the claim of privilege is narrow. Kasza, F.d at ; see also Al- Haramain, 0 F.d at ( [W]e acknowledge the need to defer to the Executive on matters of foreign policy and national security and surely cannot legitimately find ourselves second guessing the Executive in this arena. Aside from ensuring that the privilege has been properly invoked as a procedural matter, the sole determination for the court is whether, under the particular circumstances of the case, there is a reasonable danger that compulsion of the evidence will expose military matters which, in the interest of national security, should not be divulged. Kasza, F.d at (quoting Reynolds, U.S. at. Moreover, the Ninth Circuit has made clear that the focal point of review is whether the Government has identified a reasonable danger to national security not a court s own assessment as to whether information is a secret or its disclosure would cause harm. See Al-Haramain, 0 F.d at ( [J]udicial intuition... is no substitute for documented risks and threats posed by the potential disclosure of national security information. ; see also CIA v. Sims, U.S., ( ( It is the responsibility of the [intelligence community], not that of the judiciary to weigh the variety of complex and subtle factors in determining whether disclosure of information may lead to an unacceptable risk of compromising the... intelligence-gathering process. ; Halkin v. Helms, F.d, - (D.C. Cir. (Halkin I ( [C]ourts, of course, are ill-equipped to become sufficiently steeped in The Government recognizes that the Ninth Circuit in Al-Haramain remanded for consideration of whether the state secrets privilege is preempted by the Foreign Intelligence Surveillance Act, see Al-Haramain, 0 F.d at -0, and that this Court has ruled that the privilege is preempted by the FISA, see Al-Haramain, F. Supp. d at -. As set forth below, the Government expressly preserves its position that the FISA does not preempt the state secrets privilege or other statutory privileges. Jewel et al. v. National Security Agency et al., Case No. 0-cv--VRW --

24 Case :0-cv-0-VRW Document Filed 0/0/0 Page of foreign intelligence matters to serve effectively in the review of secrecy classifications in that area. (quoting United States v. Marchetti, F.d 0, (th Cir.. In addition, in assessing whether to uphold a claim of privilege, the court does not balance the respective needs of the parties for the information. Rather, [o]nce the privilege is properly invoked and the court is satisfied that there is a reasonable danger that national security would be harmed by the disclosure of state secrets, the privilege is absolute and cannot be overcome by even the most compelling need in the litigation. Kasza, F.d at ; see also Northrop Corp. v. McDonnell Douglas Corp., F.d, (D.C. Cir. ; Ellsberg, 0 F.d at. B. The United States Has Properly Asserted the State Secrets and Related Statutory Privileges in this Case. The United States has properly asserted and supported the state secrets privilege in this case. First, as a procedural matter, [t]here must be a formal claim of privilege, lodged by the head of the department that has control over the matter, after actual personal consideration by the officer. Reynolds, U.S. at - (footnotes omitted. Here, the Director of National Intelligence, who is head of the United States Intelligence Community, see 0 U.S.C. 0 (b(; Al-Haramain, 0 F.d at n., has formally asserted the state secrets privilege after personal consideration of the matter. See Public and Classified In Camera, Ex Parte Declarations of Admiral Dennis C. Blair, Director of National Intelligence. Second, the Government has amply demonstrated in these submissions that there is a reasonable danger that disclosure of the privileged information would cause exceptionally grave harm to national security. Plaintiffs allegations implicate several facts at the heart of the Government s privilege assertion. First, plaintiffs allege that they have been personally subject to alleged NSA intelligence activities. See e.g. Compl.,. But the DNI has explained that the disclosure of information concerning whether or not plaintiffs have been subject to alleged NSA intelligence activity would inherently reveal NSA intelligence sources and methods. Whether specific individuals were targets of alleged NSA activities would either reveal who is subject to The DNI s assertion of privilege is supported by the Public and Classified In Camera, Ex Parte Declarations of Deborah A. Bonanni, Chief of Staff, National Security Agency. Jewel et al. v. National Security Agency et al., Case No. 0-cv--VRW --

25 Case :0-cv-0-VRW Document Filed 0/0/0 Page of investigative interest helping that person to evade surveillance or who is not thereby revealing the scope of intelligence activities as well as the existence of secure channels for communication. See Public DNI Decl. ; Public NSA Decl. -. Second, plaintiffs allege that they have been subject to a dragnet on the content of their communications, as well as the collection of their communication records, as part of an alleged presidentially-authorized program after the / attacks. See, e.g., Compl.. But the facts necessary to litigate these allegations are also properly excluded by the DNI s privilege assertion. The DNI explains that, as the Government has previously indicated, the NSA s collection of the content of communications under the now inoperative Terrorist Surveillance Program ( TSP was directed at international communications in which a participant was reasonably believed to be associated with al Qaeda or an affiliated terrorist organization, and thus plaintiffs allegation that the NSA has indiscriminately collected the content of millions of communications sent or received by people inside the United States after / under the TSP is false. See Public DNI ; see also Public NSA Decl.. But attempting to demonstrate that the TSP was not the content dragnet plaintiffs allege, or that the NSA has not otherwise engaged in the alleged content dragnet, would require the disclosure of highly classified NSA intelligence sources and methods about the TSP and other NSA activities. See Public DNI Decl. ; see also Public NSA Decl. -. The DNI has also explained that confirmation or denial of whether the NSA has collected communication records would cause exceptional harm to national security by disclosing whether or not NSA utilizes certain intelligence sources and methods and thereby revealing the capability and operations or lack thereof for foreign adversaries to exploit. See Public DNI Decl. ; see also Public NSA Decl.. Indeed, this Court has previously barred discovery into allegations concerning communications records, see Hepting, F. Supp. d at, and the harms outlined by the DNI warrant no alteration of the Court s conclusion. Indeed, the Court in The term content is used herein and by the DNI to refer to the substance, meaning or purport of a communication, as defined in U.S.C. (. See Public DNI Decl. n.. While the Court in Hepting did not conclude that the state secrets privilege bars disclosure of whether or not such a program exists or whether AT&T was involved, see Hepting, Jewel et al. v. National Security Agency et al., Case No. 0-cv--VRW --

26 Case :0-cv-0-VRW Document Filed 0/0/0 Page of Terkel v. AT&T Corp., F. Supp. d, (N.D. Ill. 0, addressing an identical allegation, upheld the Government s state secrets privilege assertion to preclude disclosure of whether the Government was obtaining large quantities of communications records in order to protect against the disclosure of information that would allow adversaries to gain valuable insight into the Government s intelligence activities. Finally, all of plaintiffs claims require the disclosure of whether or not AT&T assisted the Government in alleged intelligence activities, and the DNI again has demonstrated that disclosure of whether the NSA has an intelligence relationship with a particular private company would also cause exceptional harm to national security among other reasons by revealing to foreign adversaries which channels of communication may or may not be secure. See Public DNI Decl. ; Public NSA Decl.. Again, in Terkel, the court upheld the Government s privilege assertion over whether AT&T in particular has disclosed communications records to the Government. See F. Supp. d at. In sum, the DNI s privilege assertion is amply supported and clearly demonstrates there is a reasonable danger that disclosure of the privileged information would harm national security. F. Supp. d at, the Government s privilege assertion demonstrates that plaintiffs communications records allegation concerns information that should be excluded from the litigation, and claims based on this allegation should be dismissed. Both the DNI and the NSA have asserted statutory privileges to protect the information at issue, underscoring that the protection of the privileged information is not only supported by the judgment of the Executive, but also pursuant to authority delegated by Congress. First, Section of the National Security Agency Act of, Pub. L. No. -,, Stat.,, codified at 0 U.S.C. 0 note, forecloses disclosure of the organization or any function of the National Security Agency, of any information with respect to the activities thereof.... Second, Section A(i( of the Intelligence Reform and Terrorism Prevention Act of 0, Pub. L. No. -, Stat. (Dec., 0, codified at 0 U.S.C. 0- (i(, requires the Director of National Intelligence to protect intelligence sources and methods from unauthorized disclosure. The information subject to these statutory privileges is coextensive with the assertion of the state secrets privilege by the DNI. See Public DNI Decl. ; Public NSA Decl.. Notably, in People for the American Way Found v. NSA ( PFAW, F. Supp. d (D.D.C. 0, the court applied Section of the National Security Act to bar disclosure under FOIA of information related to the operation of the Terrorist Surveillance Program, including whether the plaintiffs in that case had been subject to TSP surveillance, and recognized as well that this information would be protected by the DNI s statutory privilege. See Jewel et al. v. National Security Agency et al., Case No. 0-cv--VRW --